FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
AMYRIS, INC. [ AMRS ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 10/10/2011 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 10/10/2011 | M(1) | 20,000 | A | $0.28 | 20,000 | I(2) | John and Mary Melo Family Foundation(2) | ||
Common Stock | 10/10/2011 | S(1) | 20,000(3) | D | $17.216(4) | 0 | I(2) | John and Mary Melo Family Foundation(2) | ||
Common Stock | 23,000 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (Right to Buy) | $0.28 | 10/10/2011 | M(1) | 20,000 | (5)(6) | 01/18/2017 | Common Stock | 20,000 | $0 | 40,000 | I(7) | John and Mary Melo Family Foundation(2) | |||
Stock Option (Right to Buy) | $0.28 | (5)(6) | 01/18/2017 | Common Stock | 553,730 | 553,730 | D | ||||||||
Stock Option (Right to Buy) | $0.28 | (5)(6) | 01/18/2017 | Common Stock | 18,539 | 18,539 | I(8) | Melo Family 2010 Distribution Trust(8) | |||||||
Stock Option (Right to Buy) | $0.28 | (5)(6) | 01/18/2017 | Common Stock | 9,936 | 9,936 | I(9) | Descendant's Trust #1(9) | |||||||
Stock Option (Right to Buy) | $0.28 | (5)(6) | 01/18/2017 | Common Stock | 9,936 | 9,936 | I(10) | Descendant's Trust #2(10) | |||||||
Stock Option (Right to Buy) | $0.28 | (5)(6) | 01/18/2017 | Common Stock | 9,936 | 9,936 | I(11) | Descendant's Trust #3(11) | |||||||
Stock Option (Right to Buy) | $0.28 | (5)(6) | 01/18/2017 | Common Stock | 26,653 | 26,653 | I(12) | Melo Renewal Trust(12) |
Explanation of Responses: |
1. ***RULE 10B5-1 TRADING PLAN TRANSACTION: EACH OF THE FOREGOING OPTION EXERCISE AND STOCK SALES WAS EFFECTED PURSUANT TO A RULE 10B5-1 TRADING PLAN ADOPTED BY THE JOHN AND MARY MELO FAMILY FOUNDATION ON SEPTEMBER 9, 2011.*** |
2. The shares are directly beneficially held by the John and Mary Melo Family Foundation (the "Foundation"). Mr. Melo is the President of the Foundation and, as such, has voting and/or investment power over the securities held by the Foundation. |
3. Represents the aggregate of sales effected on the same day at different prices pursuant to the plan in footnote (1). |
4. Represents the weighted average sales price per share. The shares sold at prices ranging from $16.66 to $17.55 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. |
5. Immediately exercisable. |
6. The stock option vested as to 1/5th of the total number of shares subject to the option on October 23, 2007, and thereafter vested and shall vest as to 1/60th of the total number of shares subject to the option in equal monthly installments. |
7. This stock option was previously reported as directly beneficially owned by Mr. Melo, but was contributed on September 1, 2011 to the Foundation. |
8. This stock option was previously reported as directly beneficially owned by Mr. Melo, but was contributed on March 18, 2010 to the Melo Family 2010 Distribution Trust. |
9. This stock option was previously reported as directly beneficially owned by Mr. Melo, but was contributed on April 4, 2011 to the Descendant's Trust #1. |
10. This stock option was previously reported as directly beneficially owned by Mr. Melo, but was contributed on April 4, 2011 to the Descendant's Trust #2. |
11. This stock option was previously reported as directly beneficially owned by Mr. Melo, but was contributed on April 4, 2011 to the Descendant's Trust #3. |
12. This stock option was previously reported as directly beneficially owned by Mr. Melo, but was contributed on April 4, 2011 to the Melo Renewal Trust. |
Remarks: |
/s/ John Melo by Nicholas Khadder, Attorney-in-Fact | 10/12/2011 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |